Review of SEC Enforcement Developments in 2014, and a Look Forward

Review of SEC Enforcement Developments in 2014, and a Look Forward

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WilmerHale has defended clients in hundreds of class, derivative, shareholder and individual actions alleging securities fraud, breach of fiduciary duty and other corporate misconduct.
WilmerHale has a record of success at all stages of enforcement proceedings—from informal inquiries to litigation.
WilmerHale has defended clients in hundreds of class, derivative, shareholder and individual actions alleging securities fraud, breach of fiduciary duty and other corporate misconduct.
Securities and Exchange Commission Chair Mary Jo White has called for the SEC to be more aggressive in its enforcement program. By all accounts, the Enforcement Division has responded to that call. Given the events of the past decade involving the Madoff fraud and the fallout from the 2008 financial crisis, we believe both the aggressive tone and positions the SEC has taken in recent years will continue.
 
In this memorandum, Review of SEC Enforcement Developments in 2014, Partner Bill McLucas outlines some of the developments in the SEC’s enforcement program and the remedies it has pursued over the past year. He also discusses important developments in areas where we expect to see continued enforcement attention during 2015, including insider trading law, the private equity industry, and accounting and financial reporting matters.
 
If you have any questions about the SEC’s current enforcement program, or have a specific regulatory issue that requires counsel and expert advice, please feel free to contact Bill McLucas.

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